AS/NZS 10002:2014
Guidelines for complaint management in organizations
Provides guidance on complaint management within an organisation, including the planning, design, operation, maintenance and improvement of the organisation’s complaint management system. Based on, but not equivalent to, ISO 10002:2004.
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AS/NZS 10002:2014 GUIDELINES FOR COMPLAINT MANAGEMENT IN ORGANIZATIONS
PREFACE
CONTENTS
FOREWORD
1 SCOPE
2 APPLICATION
3 REFERENCED DOCUMENTS
4 DEFINITIONS
4.1 Complainant
4.2 Complaint
4.3 Complaint management system
4.4 Disputes
4.5 Feedback
4.6 Social media
5 GUIDING PRINCIPLES
5.1 Enabling complaints
5.1.1 People focus
5.1.2 Ensuring no detriment to complainant
5.1.3 Visibility and transparency
5.1.4 Accessibility
5.1.5 No charges
5.2 Managing complaints
5.2.1 Responsiveness
5.2.2 Objectivity and fairness
5.2.3 Equity
5.2.4 Privacy and disclosure
5.2.5 Communication
5.3 Managing the parties
5.3.1 Conduct of parties
5.3.2 Work health and safety
5.3.3 Complaint involving multiple parties
5.3.4 Empowerment of staff
5.4 Accountability, learning and prevention
5.4.1 Accountability
5.4.2 Continuous improvement
5.4.3 Prevention of ongoing disputes
6 COMPLAINT-MANAGEMENT FRAMEWORK
6.1 Introduction
6.2 Commitment
6.3 Policy and procedures
6.4 Responsibility and authority
6.4.1 General
6.4.2 Chief executive
6.4.3 Manager responsible for complaint management
6.4.4 Operational managers
6.4.5 Staff handling complaints
6.5 Staff awareness
7 PLANNING AND DESIGN
7.1 System
7.2 Review process
7.3 Procedures
7.4 Resources
7.5 Integration with public relations/media activities
7.6 Training
8 OPERATION OF THE COMPLAINT MANAGEMENT SYSTEM
8.1 Communication
8.2 Providing support in the making of a complaint
8.3 Early resolution
8.4 Receipt of complaint
8.5 Tracking of complaint
8.6 Acknowledgement of complaint
8.7 Managing the complaint
8.7.1 Initial assessment of complaint
8.7.2 Considering the complaint
8.7.3 Addressing the complaint
8.7.4 Communicating with the complainant
8.8 Closing the complaint, review and record keeping
8.9 Monitoring implementation of recommendations/remedies
9 MAINTENANCE AND IMPROVEMENT
9.1 Collection of information
9.2 Analysis and evaluation of complaints
9.3 Satisfaction with the complaint management system
9.4 Monitoring the complaint management system
9.5 Auditing of the complaint management system
9.6 Management review of the complaint management system
9.6.1 Purpose of review
9.6.2 Inputs to review
9.6.3 Outputs of review
9.7 Continual improvement
APPENDIX A - GUIDANCE FOR SMALL ORGANIZATIONS
A1 GENERAL
A2 WELCOME COMPLAINTS
A3 CLEAR PROCESS
A4 STAFF AWARENESS
A5 LOWEST LEVEL RESOLUTION
A6 ACKNOWLEDGE RECEIPT OF ALL COMPLAINTS
A7 ASSESS THE COMPLAINT
A8 MANAGE EXPECTATIONS
A9 INFORM THE COMPLAINANT ABOUT THE OUTCOME OF THEIR COMPLAINT
A10 RECORD KEEPING
A11 REVIEW COMPLAINT DATA
APPENDIX B - GUIDANCE ON ACCESSIBILITY
B1 GENERAL
B2 MAKING THE COMPLAINT MANAGEMENT PROCESS ACCESSIBLE AND USABLE
B3 FLEXIBLE METHODS FOR MAKING AND MANAGEMENT COMPLAINTS
APPENDIX C - DATA COLLECTION, ANALYSIS AND REPORTING FOR COMPLAINT INFORMATION
C1 GENERAL
C2 STEP ONE: PRE-COLLECTION ACTIVITIES
C3 STEP TWO: COLLECTION
C3.1 General
C3.2 Quantitative data
C3.3 Qualitative data
C4 STEP THREE: ANALYSIS
C5 STEP FOUR: FINDINGS AND REPORTS
APPENDIX D - OBJECTIVITY
D1 PRINCIPLES OF OBJECTIVITY
D2 OBJECTIVITY FOR STAFF
D3 SEPARATING COMPLAINT MANAGEMENT PROCEDURES FROM DISCIPLINARY PROCEDURES
D4 CONFIDENTIALITY
D5 OBJECTIVITY MONITORING
APPENDIX E - UNREASONABLE CONDUCT BY COMPLAINANTS
E1 GENERAL
E2 EXAMPLES OF UNREASONABLE COMPLAINANT CONDUCT
E3 KEY PRINCIPLES FOR DEALING WITH UNACCEPTABLE COMPLAINANT CONDUCT
APPENDIX F - RESPONSIBILITIES OF MANAGEMENT, EMPLOYEES AND COMPLAINT MANAGEMENT PERSONNEL
F1 GENERAL
F2 SKILLS, ATTRIBUTES AND AUTHORITY
F3 RESPONSIBILITIES OF COMPLAINT MANAGEMENT PERSONNEL
F4 RESPONSIBILITIES OF COMPLAINT HANDLING MANAGEMENT
APPENDIX G - DISPUTE PREVENTATION AND MANAGEMENT
G1 GENERAL
G2 PREVENTION
G3 MANAGEMENT
G4 CONFLICT COACHING
G5 APOLOGY
G6 ALTERNATIVE DISPUTE RESOLUTION (ADR)
APPENDIX H - THREE LEVEL MODEL OF COMPLAINT HANDLING
H1 GENERAL
H2 LEVEL ONE: FRONTLINE COMPLAINT MANAGEMENT-EARLY RESOLUTION
H3 LEVEL TWO: INTERNAL ASSESSMENT, INVESTIGATION, ADR OR REVIEW, OR A COMBINATION THEREOF
H4 LEVEL THREE: EXTERNAL ASSESSMENT, INVESTIGATION, ADR OR REVIEW
APPENDIX I - EFFECTIVE APOLOGIES
I1 GENERAL
I2 HOW CAN AN APOLOGY BE WORDED
I3 ELEMENTS OF AN EFFECTIVE APOLOGY
I3.1 Recognition of the harm or impact to the complainant suffered
I3.2 Responsibility of the organization
I3.3 Reasons for or the cause of the problem
I3.4 Regret for the harm suffered
I3.5 Redress for the wrong
I3.6 Release from blame
APPENDIX J - OPTIONS FOR REDRESS
J1 GENERAL
J2 COMMUNICATION
J3 RECTIFICATION
J4 MITIGATION
J5 SATISFACTION
J6 COMPENSATION
APPENDIX K - IMPLEMENTING A ROOT CAUSE ANALYSIS SYSTEM FOR COMPLAINTS: A GUIDE TO INVESTIGATING, PREVENTING AND REPORTING
K1 GENERAL
K2 ESTABLISHING A RCA SYSTEM
K2.1 General
K2.2 Step one: Assemble a RCA team
K2.3 Step two: Identify the problems
K2.4 Step three: Analyse the problem
K2.5 Step four: Implement the recommendations of the RCA team
K2.6 Step five: Evaluate the impact of corrective action taken as a result of RCA
APPENDIX L - INFORMATION TO COLLECT ON A COMPLAINT FORM AND USAGE OF INFORMATION
L1 INFORMATION TO COLLECT ON A COMPLAINT
L2 INTERNAL USE OF INFORMATION PROVIDED ON A COMPLAINT
L2.1 Categorization
L2.2 Complaint receipt
L2.3 Complaint response
APPENDIX M - CONTINUAL MONITORING
M1 GENERAL
M2 MANAGEMENT RESPONSIBILITY
M3 PERFORMANCE MEASUREMENT AND MONITORING
M3.1 General
M3.2 Performance-monitoring criteria
M3.3 Monitoring data
APPENDIX N - AUDIT
APPENDIX O - ROLE OF INFORMATION IN REDUCING COMPLAINTS
O1 PRESENTATION OF INFORMATION
O2 ASSEMBLE AN INFORMATION SYSTEM DESIGN (ISD) TEAM OR SYSTEM SPONSOR
O3 IMPLEMENT THE RECOMMENDATIONS OF THE ISD TEAM OR SYSTEM SPONSOR
O4 EVALUATE THE IMPACT OF ACTION TAKEN AS A RESULT OF THE CHANGES RECOMMENDED BY THE ISD TEAM OR SYSTEM SPONSOR
BIBLIOGRAPHY
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AS/NZS 10002:2014 GUIDELINES FOR COMPLAINT MANAGEMENT IN ORGANIZATIONS
PREFACE
CONTENTS
FOREWORD
1 SCOPE
2 APPLICATION
3 REFERENCED DOCUMENTS
4 DEFINITIONS
4.1 Complainant
4.2 Complaint
4.3 Complaint management system
4.4 Disputes
4.5 Feedback
4.6 Social media
5 GUIDING PRINCIPLES
5.1 Enabling complaints
5.1.1 People focus
5.1.2 Ensuring no detriment to complainant
5.1.3 Visibility and transparency
5.1.4 Accessibility
5.1.5 No charges
5.2 Managing complaints
5.2.1 Responsiveness
5.2.2 Objectivity and fairness
5.2.3 Equity
5.2.4 Privacy and disclosure
5.2.5 Communication
5.3 Managing the parties
5.3.1 Conduct of parties
5.3.2 Work health and safety
5.3.3 Complaint involving multiple parties
5.3.4 Empowerment of staff
5.4 Accountability, learning and prevention
5.4.1 Accountability
5.4.2 Continuous improvement
5.4.3 Prevention of ongoing disputes
6 COMPLAINT-MANAGEMENT FRAMEWORK
6.1 Introduction
6.2 Commitment
6.3 Policy and procedures
6.4 Responsibility and authority
6.4.1 General
6.4.2 Chief executive
6.4.3 Manager responsible for complaint management
6.4.4 Operational managers
6.4.5 Staff handling complaints
6.5 Staff awareness
7 PLANNING AND DESIGN
7.1 System
7.2 Review process
7.3 Procedures
7.4 Resources
7.5 Integration with public relations/media activities
7.6 Training
8 OPERATION OF THE COMPLAINT MANAGEMENT SYSTEM
8.1 Communication
8.2 Providing support in the making of a complaint
8.3 Early resolution
8.4 Receipt of complaint
8.5 Tracking of complaint
8.6 Acknowledgement of complaint
8.7 Managing the complaint
8.7.1 Initial assessment of complaint
8.7.2 Considering the complaint
8.7.3 Addressing the complaint
8.7.4 Communicating with the complainant
8.8 Closing the complaint, review and record keeping
8.9 Monitoring implementation of recommendations/remedies
9 MAINTENANCE AND IMPROVEMENT
9.1 Collection of information
9.2 Analysis and evaluation of complaints
9.3 Satisfaction with the complaint management system
9.4 Monitoring the complaint management system
9.5 Auditing of the complaint management system
9.6 Management review of the complaint management system
9.6.1 Purpose of review
9.6.2 Inputs to review
9.6.3 Outputs of review
9.7 Continual improvement
APPENDIX A - GUIDANCE FOR SMALL ORGANIZATIONS
A1 GENERAL
A2 WELCOME COMPLAINTS
A3 CLEAR PROCESS
A4 STAFF AWARENESS
A5 LOWEST LEVEL RESOLUTION
A6 ACKNOWLEDGE RECEIPT OF ALL COMPLAINTS
A7 ASSESS THE COMPLAINT
A8 MANAGE EXPECTATIONS
A9 INFORM THE COMPLAINANT ABOUT THE OUTCOME OF THEIR COMPLAINT
A10 RECORD KEEPING
A11 REVIEW COMPLAINT DATA
APPENDIX B - GUIDANCE ON ACCESSIBILITY
B1 GENERAL
B2 MAKING THE COMPLAINT MANAGEMENT PROCESS ACCESSIBLE AND USABLE
B3 FLEXIBLE METHODS FOR MAKING AND MANAGEMENT COMPLAINTS
APPENDIX C - DATA COLLECTION, ANALYSIS AND REPORTING FOR COMPLAINT INFORMATION
C1 GENERAL
C2 STEP ONE: PRE-COLLECTION ACTIVITIES
C3 STEP TWO: COLLECTION
C3.1 General
C3.2 Quantitative data
C3.3 Qualitative data
C4 STEP THREE: ANALYSIS
C5 STEP FOUR: FINDINGS AND REPORTS
APPENDIX D - OBJECTIVITY
D1 PRINCIPLES OF OBJECTIVITY
D2 OBJECTIVITY FOR STAFF
D3 SEPARATING COMPLAINT MANAGEMENT PROCEDURES FROM DISCIPLINARY PROCEDURES
D4 CONFIDENTIALITY
D5 OBJECTIVITY MONITORING
APPENDIX E - UNREASONABLE CONDUCT BY COMPLAINANTS
E1 GENERAL
E2 EXAMPLES OF UNREASONABLE COMPLAINANT CONDUCT
E3 KEY PRINCIPLES FOR DEALING WITH UNACCEPTABLE COMPLAINANT CONDUCT
APPENDIX F - RESPONSIBILITIES OF MANAGEMENT, EMPLOYEES AND COMPLAINT MANAGEMENT PERSONNEL
F1 GENERAL
F2 SKILLS, ATTRIBUTES AND AUTHORITY
F3 RESPONSIBILITIES OF COMPLAINT MANAGEMENT PERSONNEL
F4 RESPONSIBILITIES OF COMPLAINT HANDLING MANAGEMENT
APPENDIX G - DISPUTE PREVENTATION AND MANAGEMENT
G1 GENERAL
G2 PREVENTION
G3 MANAGEMENT
G4 CONFLICT COACHING
G5 APOLOGY
G6 ALTERNATIVE DISPUTE RESOLUTION (ADR)
APPENDIX H - THREE LEVEL MODEL OF COMPLAINT HANDLING
H1 GENERAL
H2 LEVEL ONE: FRONTLINE COMPLAINT MANAGEMENT-EARLY RESOLUTION
H3 LEVEL TWO: INTERNAL ASSESSMENT, INVESTIGATION, ADR OR REVIEW, OR A COMBINATION THEREOF
H4 LEVEL THREE: EXTERNAL ASSESSMENT, INVESTIGATION, ADR OR REVIEW
APPENDIX I - EFFECTIVE APOLOGIES
I1 GENERAL
I2 HOW CAN AN APOLOGY BE WORDED
I3 ELEMENTS OF AN EFFECTIVE APOLOGY
I3.1 Recognition of the harm or impact to the complainant suffered
I3.2 Responsibility of the organization
I3.3 Reasons for or the cause of the problem
I3.4 Regret for the harm suffered
I3.5 Redress for the wrong
I3.6 Release from blame
APPENDIX J - OPTIONS FOR REDRESS
J1 GENERAL
J2 COMMUNICATION
J3 RECTIFICATION
J4 MITIGATION
J5 SATISFACTION
J6 COMPENSATION
APPENDIX K - IMPLEMENTING A ROOT CAUSE ANALYSIS SYSTEM FOR COMPLAINTS: A GUIDE TO INVESTIGATING, PREVENTING AND REPORTING
K1 GENERAL
K2 ESTABLISHING A RCA SYSTEM
K2.1 General
K2.2 Step one: Assemble a RCA team
K2.3 Step two: Identify the problems
K2.4 Step three: Analyse the problem
K2.5 Step four: Implement the recommendations of the RCA team
K2.6 Step five: Evaluate the impact of corrective action taken as a result of RCA
APPENDIX L - INFORMATION TO COLLECT ON A COMPLAINT FORM AND USAGE OF INFORMATION
L1 INFORMATION TO COLLECT ON A COMPLAINT
L2 INTERNAL USE OF INFORMATION PROVIDED ON A COMPLAINT
L2.1 Categorization
L2.2 Complaint receipt
L2.3 Complaint response
APPENDIX M - CONTINUAL MONITORING
M1 GENERAL
M2 MANAGEMENT RESPONSIBILITY
M3 PERFORMANCE MEASUREMENT AND MONITORING
M3.1 General
M3.2 Performance-monitoring criteria
M3.3 Monitoring data
APPENDIX N - AUDIT
APPENDIX O - ROLE OF INFORMATION IN REDUCING COMPLAINTS
O1 PRESENTATION OF INFORMATION
O2 ASSEMBLE AN INFORMATION SYSTEM DESIGN (ISD) TEAM OR SYSTEM SPONSOR
O3 IMPLEMENT THE RECOMMENDATIONS OF THE ISD TEAM OR SYSTEM SPONSOR
O4 EVALUATE THE IMPACT OF ACTION TAKEN AS A RESULT OF THE CHANGES RECOMMENDED BY THE ISD TEAM OR SYSTEM SPONSOR
BIBLIOGRAPHY
AS/NZS 10002:2014
Online Library subscription pricing
The cost of your subscription will depend on which standards you want to access, and how many people in your organisation need to be able to access the Online Library subscription at the same time (concurrent users). During your subscription period, we are also able to make any necessary changes and ensure you are aware of any pricing changes that result. For a quote, contact our Online Library team by emailing onlinelibrary@standards.govt.nz.